Broker borrowing Money from customer

  • Robert Rex, Esq.

Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ
Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ 150 150 Robert Rex, Esq.

Tinton Falls, NJ The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Daniel McCourt-Foothills Securities Broker-Update on Investigation
Daniel McCourt-Foothills Securities Broker-Update on Investigation 150 150 Robert Rex, Esq.

April 17, 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension
Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 150 150 Robert Rex, Esq.

May 2017-Newton, PA The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi
Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi 150 150 Robert Rex, Esq.

September 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…

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  • Robert Rex, Esq.

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer
LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer 150 150 Robert Rex, Esq.

February 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL
Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL 150 150 Robert Rex, Esq.

February 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was  registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA
Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA 150 150 Robert Rex, Esq.

February 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes  of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …

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  • Robert Rex, Esq.

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer
Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 150 150 Robert Rex, Esq.

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

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  • Robert Rex, Esq.

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator
Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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